Broker-Dealer

W.P. Stewart Securities LLC (“WPSSL”) is our affiliated broker-dealer. WPSSL provided brokerage services for our clients until December 2010, at which time we began using exclusively third-party brokers for client transactions.

To monitor best execution obligations, Global Trading Analytics, LLC, an independent provider of trading cost analytical services monitors and reports on the trading activities at WPSSL and any other broker we use for client trades. These results help us to actively monitor and manage trading activity for our clients. 

For information relating to our Business Continuity Plan Summary under Rule 35 please click here.